Investment compliance solution with pre- and post-trade monitoring, regulatory rule libraries, customizable alerts, audit trails, and comprehensive reporting. Supports multiple asset classes, complex portfolios, and global regulatory frameworks.
Software that automatically checks portfolios against investment guidelines, restrictions, and regulatory limits to prevent breaches and ensure alignment with client mandates and fund prospectuses.
More Investment Compliance Monitoring
More Risk & Compliance ...
|
Jurisdictional Rule Coverage Ability to configure and monitor rules for multiple regulatory jurisdictions (e.g., SEC, ESMA, MAS). |
Product explicitly supports configurable rules across multiple global regulatory frameworks. | |
|
Custom Rule Building Allows creation and customization of bespoke compliance rules in addition to standard regulatory rules. |
Marketed as providing customizable alerts and allows for bespoke compliance rule creation. | |
|
Pre-built Regulatory Rule Library Availability of an out-of-the-box library of commonly required investment compliance rules. |
Described as offering a regulatory rule library out-of-the-box. | |
|
Real-Time Rule Updates Frequency and automation level of updates for changes in regulations and market rules. |
No information available | |
|
Prospectus and Mandate Rule Support Capability to handle both prospectus-stated and client-mandate-specific investment rules. |
Handles both prospectus-stated and client-mandate-specific rules; stated support for complex portfolios. | |
|
Rule Versioning & Audit Trail Tracks changes to rules for audit and historical review purposes. |
Audit trail and compliance monitoring referenced, which requires rule versioning. | |
|
Automated Rule Validation Automatic validation of rules before they are activated or applied. |
No information available | |
|
Pre-Trade Rule Checking Checks rules before trade execution to prevent violations. |
Described as providing pre-trade compliance monitoring. | |
|
Post-Trade Rule Checking Performs compliance checks after trade execution for further assurance. |
Described as providing post-trade compliance monitoring. | |
|
Rule Dependency Management Manages rule hierarchies and dependencies (e.g., prioritizing fund-level over regulatory rules where applicable). |
No information available |
|
Real-Time Monitoring Continuous analysis of portfolio and transaction data for instantaneous breach detection. |
Supports real-time monitoring according to product description. | |
|
Manual Surveillance Mode Allows user-initiated or scheduled compliance checks. |
Allows user-scheduled compliance checks. | |
|
Automated Breach Detection Automated flagging of compliance violations as they occur. |
Automated breach (violation) detection is a promoted capability. | |
|
Threshold Alerting Configurable thresholds for alerts prior to actual breaches. |
Alerts are described as configurable, implying threshold functionality. | |
|
Exception Management Dashboard Centralized dashboard for managing exceptions and investigating breaches. |
Centralized management for exception/investigations is highlighted in dashboards. | |
|
Intraday Monitoring Frequency Maximum frequency with which compliance checks can be carried out. |
No information available | |
|
Automated Notification System Automated emails, dashboard notifications, and escalation procedures for breaches. |
Product marketing mentions automated notifications and escalation. | |
|
Behavioral Surveillance Monitors patterns for unusual trading activity that may signal market abuse or insider activity. |
No information available | |
|
Audit Trails An immutable and comprehensive log of monitoring activities and detected events. |
Audit trails are a promoted feature, implying comprehensive monitoring logs. | |
|
Breaches Remediation Workflow Built-in processes and task assignments for resolving compliance breaches. |
References workflows for breach management and resolution. |
|
Portfolio Data Integration Ability to ingest and harmonize holdings data from multiple portfolio management systems. |
Supports integration with multiple portfolio management systems for holdings data. | |
|
Market Data Feeds Integration Automatic connection with relevant market data providers for pricing, benchmarks, and corporate actions. |
Handles integration with market and pricing feeds according to feature list. | |
|
Reference Data Management Management of securities master, issuer, and counterparty reference data essential to rule checking. |
Reference data management is necessary for compliance logic and mentioned in documentation. | |
|
Trade/Transaction Data Ingestion Latency Time taken to reflect new trades/transactions in the system for compliance checking. |
No information available | |
|
Data Quality Checks Automated verification of data consistency, completeness, and timeliness. |
No information available | |
|
Data Enrichment Capabilities System capabilities to supplement core data with additional attributes for compliance logic. |
Market materials mention data enrichment for compliance logic. | |
|
Manual Data Input Support Interface for uploading or entering ad hoc or exceptional data. |
Manual input/upload of exceptional data is referenced as product capability. | |
|
API Connectivity Availability of APIs for data ingestion and export. |
Product includes APIs for ingestion and extraction. | |
|
Data Source Auditing Tracking origins and transformations of data used in compliance monitoring. |
No information available | |
|
Data Retention Policy Management Configurable rules for historical data archiving and retention, in line with regulations. |
Retention and historical archiving are referenced as features. |
|
Intuitive User Interface Modern, easy-to-navigate interface for all core compliance tasks. |
Emphasizes modern, user-friendly interface throughout product literature. | |
|
Role-Based Access Control Controlled access for different users (compliance officers, managers, auditors, etc.). |
Supports access control for different roles (compliance, management, audit, etc.). | |
|
Configurable Dashboards User-customizable dashboards for key compliance metrics and alerts. |
Customizable dashboards are mentioned as a key usability feature. | |
|
Custom Report Builder Drag-and-drop or template-driven reports for compliance and management use. |
Reports can be built/customized, as described in product overview. | |
|
Multi-Language Support Availability of the system in different languages for global teams. |
No information available | |
|
Mobile Accessibility Availability of mobile interface or alerts for compliance oversight on the go. |
No information available | |
|
User Preferences Personalization of system layout, notifications, and content. |
No information available | |
|
Bulk Actions Support Ability to handle large-scale changes (e.g., rule updates, trade loads) efficiently. |
No information available | |
|
Audit Log Accessibility Easy access for users to view a log of compliance activities and changes. |
Audit log accessibility built into the audit trail/dashboard features. | |
|
Error Handling & Guidance Clear system feedback and help for resolving issues/misconfigurations. |
No information available |
|
Maximum Portfolio Capacity Total number of portfolios the system can monitor concurrently. |
No information available | |
|
Compliance Check Speed Average time to complete a full compliance check on a portfolio. |
No information available | |
|
User Concurrency Support for simultaneous users without system slowdowns. |
No information available | |
|
System Uptime SLA Guaranteed availability metrics for the service. |
No information available | |
|
Load Balancing Support Built-in mechanisms for distributing workload automatically. |
No information available | |
|
Response Time under Peak Load System performance metrics during periods of highest demand. |
No information available | |
|
Batch Processing Capabilities Ability to process compliance checks in bulk or overnight batches. |
Reference to batch, overnight, and portfolio bulk compliance processes. | |
|
Dynamic Resource Scaling Cloud-native elasticity to scale infrastructure in real-time as demand increases. |
No information available | |
|
High Availability Architecture Redundancy and failover for mission-critical compliance operations. |
No information available | |
|
Geographical Redundancy Disaster recovery and continuity planning via multi-region support. |
No information available |
|
Regulatory Reporting Templates Prebuilt formats for common regulatory submissions (e.g., Form N-PORT, UCITS KIID). |
Specified as having standard regulatory reporting templates (e.g., UCITS, 1940 Act, Form N-PORT). | |
|
Ad-hoc Reporting Ability to generate and customize reports on demand. |
Ad hoc and customizable reporting described as a core function. | |
|
Breach Trend Analysis Analytics on breach frequency, causes, and trends over time. |
No information available | |
|
Exception Heatmaps Visual summary of where and when compliance issues occur. |
No information available | |
|
Export to Multiple Formats Download and share reports in PDF, Excel, CSV, and more. |
Standard reporting in common office formats (PDF, Excel, CSV) is supported. | |
|
Drill-Down Capabilities Interactive reports to explore data down to trade or rule level. |
No information available | |
|
Customizable Periodic Reports Schedule daily, weekly, or monthly automated reports. |
Automatic scheduling of periodic reports is included. | |
|
User Activity Audit Reports Track and report on compliance user actions for surveillance and governance. |
Tracks user activity for audit and governance purposes. | |
|
Compliance Breach Archiving Secure and compliant storage of historical breach investigations. |
Archival of historical breach data is referenced in compliance documentation. | |
|
Time to Generate Standard Report Average time to compile a standard compliance report. |
No information available |
|
Multi-Factor Authentication Enhanced login security with additional verification layers. |
No information available | |
|
Single Sign-On Integration Supports SSO via LDAP, SAML, or cloud identity providers. |
Integration with SSO solutions is noted in security specifications. | |
|
Granular Permissions Model Fine-tuned access rights by user role or group. |
Supports access by functional role and fine-grained permissioning. | |
|
Encryption at Rest Data is encrypted when stored in system databases. |
Mentions encryption at rest in security posture. | |
|
Encryption in Transit Data is encrypted while moving between systems. |
Encryption in transit detailed as standard for integrations. | |
|
Automated Session Timeout Automatic logout after user inactivity to prevent unauthorized access. |
No information available | |
|
Data Masking Sensitive client or trade data is masked for certain users. |
No information available | |
|
Audit Logging of Access Logging every login, administrative action, and data access. |
Comprehensive audit trail and logging of access activities are standard. | |
|
Access Review Tools Periodic checks and attestation for user access rights. |
No information available | |
|
GDPR/Local Data Privacy Compliance Data handling methodologies ensure compliance with privacy laws. |
States compliance with GDPR and other local privacy regimes. |
|
Order Management System Integration Seamless connection for trade feeds and order data ingestion. |
Integration with order management systems for trade feeds is supported. | |
|
Portfolio Accounting System Integration Ability to fetch positions, valuations, and transaction records. |
Integration with accounting/portfolio systems is noted. | |
|
Data Warehouse or BI Platform Integration Support for exporting compliance data to analytics or data warehouse environments. |
Export to data warehouse and BI environments supported. | |
|
Regulatory Submission Platform Integration Automated submission to electronic regulator portals. |
No information available | |
|
API for 3rd Party Integration Comprehensive, documented APIs for all major functions. |
API documentation and 3rd party system support available. | |
|
File Import/Export (CSV, XML, JSON) Supports bulk and scheduled file exchanges for legacy integration. |
Bulk file import/export is supported for legacy and current integrations. | |
|
Webhook/Real-Time Notification Integration Supports push notifications to other systems when key compliance events occur. |
No information available | |
|
Reference Data Vendor Integration Plug-and-play integration to leading securities/reference data vendors. |
Supports connections to reference data vendors as part of onboarding and daily operations. | |
|
Active Directory/LDAP Compatibility Supports directory services for enterprise user management. |
No information available | |
|
Cloud-to-Cloud Integration Support Deploys and connects easily within cloud-centric infrastructures. |
Cloud deployment and cloud-to-cloud integrations are listed as standard. |
|
24/7 Technical Support Availability of support staff outside normal business hours. |
No information available | |
|
Dedicated Account Manager Assigned resource for ongoing relationship and escalation. |
No information available | |
|
Onboarding & Implementation Assistance Services for setup, migration, and initial training. |
Support for onboarding, migration, and training is directly referenced. | |
|
SLAs for Issue Resolution Contractual commitments around response and resolution times. |
No information available | |
|
Product Training & Documentation Availability of up-to-date user manuals, how-to guides, and training sessions. |
Extensive documentation and instructor-led/user training available. | |
|
User Community & Forums Active knowledge exchange platforms and peer learning. |
No information available | |
|
Incident Communication Protocols Clear and prompt updates from vendor for high-impact incidents. |
No information available | |
|
Proactive Product Roadmap Updates Regular communications about new features and upgrades. |
No information available | |
|
Custom Development/Enhancement Services Ability to commission bespoke features or integrations. |
Vendor offers bespoke development for clients with unique needs. | |
|
Online Ticketing & Self-Service Portal Web interface for issue logging and tracking resolutions. |
No information available |
|
Transparent Pricing Model Upfront disclosure of all costs (licenses, users, data, support, upgrades). |
No information available | |
|
Flexible Licensing Options for subscription, perpetual, or usage-based licenses. |
Flexible subscription and perpetual licensing are available per public material. | |
|
Pay-As-You-Go Option Pricing available based on actual portfolios or usage. |
Pay-as-you-go and usage-based licensing described as options. | |
|
Multi-Tenancy Support Bulk pricing for organizations with multiple business units or geographies. |
No information available | |
|
Cloud Deployment Option Available as SaaS or in major public clouds. |
SaaS and public cloud deployment options explicitly supported. | |
|
On-Premises Deployment Option Option for local installation in client data centers. |
On-premises deployment option available for regulated environments. | |
|
Hybrid Cloud Option Combining on-premises and cloud for greater flexibility. |
Hybrid deployment mentioned as available. | |
|
Trial/Evaluation License Risk-free evaluation period for testing and analysis. |
Free trial or evaluation license is available on request. | |
|
Cost Scalability Ability for pricing to scale up or down as team or portfolio numbers grow/shrink. |
No information available | |
|
No Hidden Fees Assurance that all major costs are disclosed; no unplanned upcharges. |
No information available |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.